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DRIP - Overview
Terms &
Conditions
TERMS AND CONDITIONS OF THE DIVIDEND REINVESTMENT PLAN FOR
SHAREHOLDERS OF CARLISLE COMPANIES INCORPORATED.
1. Computershare Investors Services (the “Bank”) will
establish an investment account (the “Account”) for each
registered shareholder of Carlisle Companies Incorporated
(“Carlisle”) choosing to participate in the Dividend Reinvestment
Plan (the “Plan”) established for shareholders of Carlisle. The
Bank will credit to the Account of each participant (the
“Participant”) in the Plan funds received by the Bank from either
of the following two sources:
(a) all cash dividends
(“Dividends”) received from Carlisle
(i) by the Bank as agent for the Participant on all shares of
Carlisle common
stock (“Common Stock”) registered in the Participant’s name on the
books
of Carlisle (“Registered Shares”); and
(ii) by the Bank on all full shares of Common Stock and fractional
share
equivalents credited to the Participant’s Account; and
(iii) by the Bank as proceeds of sale of Dividends Securities,
pursuant to Paragraph 11; and
(b) all Voluntary Cash Payments
pursuant to Paragraph 3 received by the Bank from the Participant.
2. Acting as agent for each Participant, the Bank will
apply the funds credited to the Participant’s Account pursuant to
Paragraph 1(a) to purchase shares of Common Stock and fractional
share equivalents (the “Additional Shares”) as soon as reasonably
practicable after the receipt by the Bank of such funds and will
credit the number of Additional Shares so purchased to the
Participant’s Account. As provided in Paragraph 3, Additional
Shares may be purchased for the Participant’s Account with the
credited funds received by the Bank pursuant to Paragraph 1(b).
The price at which the Bank shall be deemed to have acquired
Additional Shares for the Participant’s Account shall be the
average price of all Additional Shares purchased by it as agent
for all Participants in the Plan, with the funds from both sources
being concurrently applied, as the case may be.
3. A Participant may elect to participate in the Plan
through the investment of Dividends or through the making of
Voluntary Cash Payments pursuant to this paragraph or both.
Voluntary Cash Payments may be made at any time. The Participant,
at his or her option, may, from time to time, send the Bank a
check or money order payable to Computershare Investor Services in
the amount of $10 to $3,000 per quarter (“Voluntary Cash
Payment”), accompanied by a written instruction to apply the
Voluntary Cash Payment to the purchase of Additional Shares for
the Participant’s Account. The Bank will credit the Voluntary Cash
Payment to the Account of the Participant and apply such funds to
the purchase of Additional Shares for the Participant’s Account.
Purchase of Additional Shares for the Participant’s Account will
be made by the Bank on the next investment date, using Voluntary
Cash Payments received no less than ?ve business days prior to the
date of such purchase. Voluntary Cash Payments that are received
by the Bank during a calendar month in which a Dividend is payable
will be accumulated and applied together with the next Dividend to
the purchase of Additional Shares for the Participant’s Account.
In all other calendar months, the investment date shall be on or
about the first day of that month. A Participant may obtain a
refund of any Voluntary Cash Payment provided that a written
request for such refund is received by the Bank at least two
business days prior to the date of the investment thereof.
4. As soon as practicable after each Dividend payment date
and, in addition, after any change occurs in the number of
Additional Shares credited to a Participant’s Account, the Bank
will mail to each Participant a statement (the “Statement”)
describing the transactions in the Participant’s Account
subsequent to those described on the previous Statement.
5. Purchases of Additional Shares pursuant to the Plan may
be made on any securities exchange where Common Stock is traded,
in the over-the-counter market, or in negotiated transactions and
may be on such terms as to price, delivery, and otherwise and will
be executed through such brokers, as the Bank may determine. In
making purchases of Additional Shares for the Participant’s
Account, the Bank will commingle the Participant’s funds with
those of other Participants in the Plan. The Bank will hold the
Additional Shares of all Participants in the name of its nominee.
The Bank shall have no responsibility for any fluctuation in the
market value of the Additional Shares purchased for the
Participant’s Account.
6. Certificates representing the Additional Shares
purchased for the Participant’s Account will not be issued to the
Participant unless the Participant so requests or until the
Account is terminated and the Participant elects to receive such
certificates as provided in Paragraph 9. Such requests and
elections must be made in writing to the Bank and, in the case of
a request for issuance of a certificate, must be made after the
purchase of the Additional Shares to which the request relates. No
certificate will be issued for a fraction of an Additional Share.
7. The Bank will make every effort to apply the whole
amount of the funds available in the Participant’s Account to the
purchase of Additional Shares as promptly as reasonably
practicable, and in any event prior to 30 days after receipt by
the Bank of such funds, unless any applicable federal securities
or other laws may curtail or suspend the purchase of Additional
Shares by the Bank. The Bank shall have no liability for such
inability to purchase Additional Shares or the timing of any
purchases. If such curtailment or suspension continues for a
period longer than 90 days, the Bank will promptly mail to the
Participant a check in the amount of any unapplied funds in the
Participant’s Account.
8. The fact that Dividends are invested automatically under
the Plan does not relieve the Participant of any liability for
taxes which may be otherwise payable on the Dividends.
9. Participation in the Plan may be terminated either by
the Bank or by the Participant at any time by written notice as
provided in Paragraph 14 (provided that the Bank may apply any
funds in the Participant’s Account to the purchase of Additional
Shares). To be effective for any given dividend payment, the
notice to terminate must be received by the Bank at least seven
days prior to the record date for that payment. Together with the
written instructions by the Participant to the Bank to terminate
the Account or in written response to the Bank’s notice of
termination of the Account, the Participant shall notify the Bank
to either:
(a) issue a certificate
or certificates representing the full Additional Shares
accumulated
in his or her Account; or
(b) sell as his or her
agent all or part of the Additional Shares and deliver to him or
her the
proceeds of such sale. The Additional Shares sold by the Bank for
the Participant may
be aggregated with shares of other terminating Participants, in
which case the proceeds
to each Participant will be based on the average sales price less
$1 handling charge,
brokerage and other costs applicable. In every case of
termination, any fractional share
equivalents accumulated in the Participant’s Account will be
converted to cash at the closing
market price of the Common Stock on the date of termination of
participation in the Plan.
Requests to sell Additional Shares must indicate the number of
Additional Shares to be sold and not the dollar amount to be
attained. Any request that does not clearly indicate the number of
Additional Shares to be sold will be returned with no action
taken. Participants selling Additional Shares should be aware that
prices fluctuate during the period between a request for sale,
receipt by the Bank of the request, and the ultimate sale in the
open market. The Participant will bear the risk of price change.
You may sell shares from your account without terminating your
participation.
10. If a Participant disposes of all his or her Registered
Shares, the Bank will attempt to determine from the Participant
the disposition he or she wishes to be made of the Additional
Shares in the Account. If the Bank should be unable to obtain such
instructions from the Participant, it may, at its option,
terminate the Participant’s Account and send to the Participant a
certificate representing the full Additional Shares and the cash
equivalent of any fractional share equivalents in the Account or
continue to invest in Additional Shares all funds thereafter
credited to the Participant’s Account pursuant to Paragraph 1.
11. Any Dividends in the form of shares of Stock and any
shares resulting from a split of Stock distributed by Carlisle on
Additional Shares accumulated in the Participant’s Account will be
credited to the Participant’s Account and rejected in the
Statement described in Item 4 above. In the event that Carlisle
makes available to the holders of its Stock, rights to purchase
Additional Shares of Stock, the Bank will sell such rights or
other securities, as the case may be (the “Dividend Securities”),
accruing to the Additional Shares for the Participant’s Account
prior to or in conjunction with the application of the next
Dividend or Voluntary Cash Payment to the purchase of Additional
Shares for the Participant’s Account. The price at which the Bank
shall be deemed to have sold Dividend Securities for the
Participant’s Account shall be the average price of all Dividend
Securities sold by it as agent for all Participants in the Plan.
12. Additional Shares (excluding any fractional share
equivalent) held by the Bank under the Plan on the record date for
a vote of Carlisle Common Stock shareholders will be voted or
abstained by the Bank’s nominee in the same manner as the
Participant votes or abstains his or her Registered Shares.
13. Subject to applicable provisions of federal securities
laws, the Bank shall incur no liability hereunder for any action
taken, or omitted by it in good faith, including, without
limitation, any claims of liability (a) arising out of failure to
terminate the Participant’s Account, upon the Participant’s death
or otherwise, prior to the actual receipt by the Bank of notice in
writing of such death, or termination, or (b) with respect to the
prices at which Additional Shares are purchased or Additional
Shares are sold for the Participant’s Account, including the terms
on which such purchases or sales are made.
14. Except as provided in Paragraph 9 with respect to
notice of termination of participation in the Plan, any notice,
instruction, request, or election which by any provision of the
Plan is required or permitted to be given or made by the
Participant to the Bank shall be in writing and shall be deemed to
have been sufficiently given or made for all purposes by being
deposited, postage prepaid, in a post office letter box addressed
to Computershare Investor Services, P.O. Box A-3504, Chicago,
Illinois 60690-3504.15. Any notice which by any provision of the
Plan is required to be given by the Bank to the Participant shall
be in writing and shall be deemed to have been sufficiently given
for all purposes by being deposited, postage prepaid, in a post
office letter box addressed to the Participant at his or her
address as it shall last appear on the Bank’s records.16. The
terms and conditions of the Authorization for the Dividend
Reinvestment Plan of the Bank and of the Plan and its operation
shall be governed by and construed in accordance with the laws of
the State of Illinois.17. Dividends received by the Bank during
any calendar year on Additional Shares (in this case, including
fractional share equivalents) credited to the Participant’s
Account will be included in an information return to the Internal
Revenue Service, if required, and a copy of such return will be
mailed to the Participant. Each Participant must furnish his or
her social security or taxpayer identification number on the
authorization card to enable participation. This is required by
U.S. Public Law 87-397 for reporting dividend payments.
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